NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Art tration Between Katherine N. Caruso Claimant vs. - " F.N. Wolf and Company, Inc. and Charles Letizia Respondents Case #90-01759 AWARD CASE SUMMARY Katherine N* Caruso, in a claim filed with the National, Association of Securities Dealers, Inc. on June 21, 1990, alleged that Respondent Charles Letizia while employed at F.N. Wolf and Company, Inc. neglige

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Southtowns Animal Hospital Dr. Robert F. Hirt Claimants vs. Andrew Alen Securities, Inc. Michael Clark Respondents CASE #90-01757 AWARD CASE SUMMARY Southtowns Animal Hospital and Dr. Robert F. Hirt, Pres. f in a claim filed with the National Association of Securities Dealers, Inc. on June 21, 1990, alleged that Respondent Michael Cl

M.A.S.P. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant* si Jerry Barshatky 90-01754 Name of Shearson Lehman Hutton, Inc Dan Bruno Palmar Fatten National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant, Jerry Barshatky: Brian H. Mahany, Esq. For Respondents, Dan Bruno, Shearson Lehn

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration between Sally N. Ligotino Claimant AWARD vs. F.N. Wolf & Co., Inc. and Charles Letizia Respondent Case #90-01753 CASE SUMMARY Pro Se Claimant, Sally N. Ligotino, in a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1990, alleged that Respondent F.N. Wolf & Co., Inc. and Charles Letizia recommended unsuitable Automot

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Zoltan S. Mason vs. Cowen & Company, Inc. Claimant CASE* 90-01750 Respondent Heard before: John Edward McCracken Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 19, 1990 the Claimant Zoltan S. Mason alleged the Respondent Cowen & Company, Inc. sold 1,000 shares of Middle South

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. ) In the Matter of the Arbitration Between ) ) Nick J. Constantinides ) Claimant ) ) AWARD vs. ) ) NASD NO. 90-01749 Shearson Lehman Hutton, Inc. ) Keith Yonkers ) Edward Bonn ) Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 19, 1990. Claimant alleged: 1. Violation of Article

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert E. Innocenti Claimant)s) vs . Roger 0. Riney and Scottsdale Securities, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 90-01748 CASE SUMMARY Claimant(s) Robert E. Innocenti alleged that Respondent(s) Roger 0. Riney and Scottsdale Securities, Inc. failed to notify him of a call to tender warrants. Respondent(s) maintain that the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/s) Robert J. & Ida Grosso 90-01746 Name of Respondentfs^ Butcher & Singer, Inc. Dorothy B. Conca Heard before: Name Public/Industry Dorothy F. Gray Public Arbitrator Claimant, RDfoert J. and Ida Grosso ("Claimants"), alleged that Respondent, Butcher & Singer & Co., Inc. and Dorothy B. Conca ("Conca") sold without pe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Robert W. and Claris F. Jentsch Claimants vs. Case #90-01742 Johnston Lemon & Co., Inc. David D. Fitzgerald Lazard Freres & Co. Respendents MODIFIED AWARD REPRESENTATION For Claimants: Robert W. and Claire F. Jentsch appeared pro se. Claire F. Jentsch was not present at the hearing. For Respondent: Johnston Lemon & Co., Inc. was repr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stanford Group Company Case No. 01-00680 Hearing Site: Boca Raton, Florida Name of Respondent Pablo F. Droira Name of Third Party Claimant Sandra S. Droira REPRESENTATION OF PARTIES For Stanford Group Company ("Stanford") hereinafter referred to as "Claimant": Rebecca Hamric, Attorney, Stanford Financial Group Company, Houston, Texas, and af